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to fatigue, probably initiated by corrosion pitting on the axle's surface. The failed axle had been maintained broadly in line with long-established industry standards. However, there were different standards of maintenance in operation following privatisation of the railways between 1994-96, and Railtrack, which managed the infrastructure, was unable to confirm if all wagons operating on its network were up to date with their maintenance schedules. HSE made eleven recommendations, the key recommendation being that Railtrack should harmonise its Group Standards so that all vehicles using the network are maintained to the same standard and recorded using a single system. European Union (EU) driver for change – Viareggio On 29 June 2009, there was a freight train derailment and consequential fire at Viareggio station, Lucca, in Italy. The derailment was due to mechanical failure of the front axle of the first wagon, probably due to a fatigue crack. The wagon struck the platform and led six other wagons into houses alongside the railway line. Two wagons carrying liquid petroleum gas (LPG) erupted and caught fire. Thirty-two people were killed and a further twenty-six were injured. The Directorate General for Railway Investigations concluded that the cause was a broken, 16-year-old axle on a ‘new’ LPG tanker. Some regulatory background The European Commission (EC) adopted the first railway package, in 2001, which set out a European Union legal framework to open up markets, through technical compatibility of trains and infrastructure, to enable the railway to compete more effectively with other forms of transport. The EC adopted the Second Railway Package, in 2004, to create a legally and technically integrated European railway area. The Third Railway Package was adopted in 2007 to open up international passenger services to competition within the EU by 2010. The aim of the Fourth Railway Package, not adopted in the UK following the UK’s exit from the EU on 1 January 2020, was to remove remaining barriers to the creation of a single European rail area and help create a more competitive rail sector, with better connections between the EU and its neighbouring countries. So, what is an Entity in Charge of Maintenance (ECM)? Prior to the Second Railway Package, much of the focus had been on freight transportation, due to there being ‘no robust arrangements in place for the wagons owners / keepers to know the true condition of the wagon at any time’ (as discussed earlier). So Europe and the UK focused on the area of high risk – Wagons. The arrangements for maintaining passenger
trains and engineering trains were, however, more robust. It was envisaged that, in time, all ECMs for rail vehicles on the main line railway would require an ECM certificate, and this requirement was incorporated into the Fourth railway package - but does not apply to domestic railway operations in Great Britain. An 'Entity in Charge of Maintenance' (ECM) is any person or organisation that is responsible for the safe maintenance of a vehicle and is registered as an ECM in the National Vehicle Register (NVR). This can include people or organisations such as transport undertakings, infrastructure managers, a keeper, or a maintenance organisation. An ‘Entity in Charge of Maintenance must ensure, by means of a system of maintenance, that a vehicle for which it is in charge of maintenance is in a safe state of running’. Vehicles operating on the mainline railway must have an ECM assigned to them. In addition, ECMs responsible for freight wagons must be certified by a certification body to ensure that they have established a maintenance system and can meet the requirements of the ECM regulations. The current legislative framework The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) implemented the European Railway Safety Directive (2004/49/EC), with its aim to establish a common approach to rail safety and support the development of a single market for rail transport services in Europe. Regulation 18A of ROGS requires that: 18A – No person may place in service or use a vehicle on the mainline railway unless that vehicle has an entity in charge of maintenance assigned to it, and that entity in charge of maintenance: a. is registered in relation to that vehicle in the National Vehicle Register; and b. holds an ECM certificate if the vehicle is a freight wagon. Each ECM must ensure that, through a system of maintenance, a vehicle for which it is responsible is safe to run on the mainline railway. The system of maintenance is the maintenance of a vehicle in accordance with: • The maintenance file for that vehicle. • Applicable maintenance rules. • Applicable technical specifications. Rail Freight – ECM certification requirements An ECM responsible for freight wagons should obtain an ECM certificate from a certification body. Certification Bodies established in the UK are accredited by the United Kingdom Accreditation Service (UKAS). The UK also recognises ECM certificates issued in EU Member States. However, ECMs responsible for the maintenance of vehicles used for crossborder services will need to obtain a crossborder UK-issued ECM certificate issued in accordance with ECM Regulation 2019/779
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for their cross-border operations. ECMs that maintain vehicles in the EU need to obtain a new ECM certificate from a certification body in an EU member state. Further advice can be found in ‘ORR Guidance on Entities in Charge of Maintenance’. This can be found on the ORR website. ECM stand still period with EU Following EU Exit in 2020, legal requirements for all freight wagons to be assigned to a certified ECM were inserted into ROGS (Para 18a and Schedule 9 & 10). Provision was also made for continuing mutual recognition of ECM certificates issued by Certification Bodies in Member States to continue when the EU Exit transition period ended in January 2021. However, as part of Government policy to end mutual recognition with the EU, the current ‘standstill’ will cease at the end of 2022. This decision will affect ECM certificates which were not issued in the UK, as well as Interoperability Constituent (IC) conformity certification issued in the EU after 2022. DfT is drawing up legislation which will amend the sections of ROGS which relate to ECM certification. DfT will give a further steer on this later in the year, following stakeholder communication. The situation is further complicated by the UK being a signatory to COTIF and having to recognise non-domiciled ECMs for international freight wagons. Intergovernmental Organisation for International Carriage by Rail (OTIF) The UK is a member of OTIF, the Intergovernmental Organisation for International Carriage by Rail. Since the EU acceded to COTIF in 2011 (the Convention of OTIF) OTIF has strengthened its role as a bridge between the EU and non-EU Member States. OTIF ensures the consistency of the regulations between its Member States, whether they are members of the EU or not. OTIF’s mission is to promote, improve and facilitate international traffic by rail (Article 2 COTIF 1999). It offers a framework for cooperation in the railway sector to: • Extend and develop the application of COTIF. • Agree on uniform legal regimes. • Envisage and enshrine systems of technical compatibility and harmonisation. • Contribute to the elimination of barriers to border crossing. Train Operating Companies and Entities in Charge of Maintenance (ECMs) must work together to ensure the rail vehicles they oversee are in good working order and can operate safely and reliably, due to having an effective maintenance and assurance regime in place. Russell J Keir CFIOSH IEng MIET is Vice Chair, IOSH Railway Group Rail Professional
